DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A••••••• S••••••••• L••
Latest filing May 14, 2026
First filing on the tape Feb 14, 2012 · 28 filings
SEC status approved since Mar 30, 2012
RAUM
$19B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
150
90 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
22
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$19B as of May 14, 2026
Mar 28, 2013$8.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 14, 2026
Mar 28, 20130 then
Employees (5.A)150 as of May 14, 2026
Mar 28, 201393 then
Private funds22 as of May 14, 2026
Mar 28, 201318 then
RAUM -7.0% over the last fiscal year-5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $822MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $19B, 23 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$19B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19B for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
38 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• S••••••••• P••••••• V•••• L••• | Private Equity Fund | $9.2B | 374 | Mar 29, 2018 |
| A••••••• S••••••••• P••••••• V••• L••• | Private Equity Fund | $3.2B | 203 | Apr 1, 2015 |
| A••••••• S••••••••• P••••••• V•• L••• | Private Equity Fund | $3.1B | 221 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V•••••• L••• | Private Equity Fund | $2.8B | 86 | Apr 1, 2015 |
| A•• V••• A••••••••• I••••••••• L• | Private Equity Fund | $1.9B | 206 | Mar 30, 2021 |
| A••••••• S••••••••• P••••••• V• L•••no longer reported | Private Equity Fund | $450M | 184 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• I•• L• | Private Equity Fund | $392M | 35 | Mar 29, 2024 |
| A••••••• S••••••••• P••••••• V•• C••••• A••• L•••no longer reported | Private Equity Fund | $331M | 202 | Mar 30, 2017 |
| A••••••• S••••••••• P••••••• V••••••• L••• | Private Equity Fund | $304M | 142 | Mar 29, 2018 |
| A••••••• S••••••••• P••••••• I••••• L• | Private Equity Fund | $192M | 16 | Mar 29, 2024 |
| A••••••• S••••••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $126M | 50 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $85.1M | 90 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V•••••• L••• | Private Equity Fund | $78.1M | 80 | Apr 1, 2015 |
| A•• V•• A••••••••• I••••••••• I••• L•••no longer reported | Private Equity Fund | $39.4M | 137 | Mar 29, 2018 |
| A••••••• S••••••••• P••••••• V••••• L••• | Private Equity Fund | $30.9M | 59 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V••••• L••• | Private Equity Fund | $28.2M | 20 | Feb 14, 2012 |
| A•• V•• A••••••••• I••••••••• I••••• L•••no longer reported | Private Equity Fund | $22.3M | 66 | Mar 29, 2018 |
| A••••••• S••••••••• P••••••• I••••• L• | Private Equity Fund | $15.6M | 22 | Mar 29, 2024 |
| C•••••• Y••• T••• L•••no longer reported | Private Equity Fund | $14.0M | 26 | Feb 14, 2012 |
| C•••••• Y••• T•••••• L•••no longer reported | Private Equity Fund | $13.5M | 18 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $7.5M | 54 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V•••• L•••no longer reported | Private Equity Fund | $7.0M | 52 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• I•••••• L•••no longer reported | Private Equity Fund | $6.8M | 32 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $6.6M | 50 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V•••• L•••no longer reported | Private Equity Fund | $5.8M | 59 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V••••• L••• | Private Equity Fund | $2.5M | 20 | Feb 14, 2012 |
| A•• V•• A••••••••• I••••••••• I•••• L•••no longer reported | Private Equity Fund | $1.4M | 75 | Mar 29, 2018 |
| A•• I•• A••••••••• I••••••••• L•••no longer reported | Private Equity Fund | $255,899 | 89 | Feb 14, 2012 |
| A•• V• A••••••••• I••••••••• L•••no longer reported | Private Equity Fund | $173,963 | 182 | Feb 14, 2012 |
| A•• I• A••••••••• I••••••••• L•••no longer reported | Private Equity Fund | $131,056 | 49 | Feb 14, 2012 |
| A•• V•• A••••••••• I••••••••• I••••• L•no longer reported | Private Equity Fund | $40,194 | 9 | Mar 29, 2018 |
| A•• I•• A••••••••• I••••••••• L•••no longer reported | Private Equity Fund | $11,495 | 32 | Feb 14, 2012 |
| A••••••• S••••••••• P••••••• V••••• C••••• A••• L•••no longer reported | Private Equity Fund | $0 | 85 | Mar 30, 2017 |
| A•• V••••• A•• D•• L••• | Private Equity Fund | $0 | 24 | Mar 31, 2023 |
| A•• V••••• A•• D•• L••• | Private Equity Fund | $0 | 23 | Mar 31, 2023 |
| A•• V•• D•• L••• | Private Equity Fund | $0 | 203 | Mar 31, 2023 |
| A•• V••••• D•• L••• | Private Equity Fund | $0 | 80 | Mar 31, 2023 |
| A•• V••••• D•• L••• | Private Equity Fund | $0 | 42 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J•••••• A•••••• · Cfocontrolsince 11/2011 · owns less than 5%
- F••••• M••••••• G••••• · Ceocontrolsince 04/1994 · owns less than 5%
- M•••• D••••• J••• · Coocontrolsince 07/2007 · owns less than 5%
- S••••••••• E•••• L••••• · General Counselcontrolsince 09/2005 · owns less than 5%
- F••••• M••••••• G••••• · Trusteecontrolsince 02/2006 · owns F of M•••••• G• F•••• 2••• R•••••••• T••••
- M•••• J•••••• B••••••• · Ccosince 01/2018 · owns less than 5%
Entity owners
- A••••••• S••••••••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
- M•••••• G• F•••• 2••• R•••••••• T•••• · Managing Memberdirect · owns less than 5%
- A••• L•• · Managing Memberindirect · owns 75% or more of A••••••• S••••••••• H•••••••• L••
- T•• M•••••• G• F•••• 2••• R•••••••• T•••• · Sole Memberindirect · owns 75% or more of A••• L••
Related persons
Schedule D 7.A
- A••••••• S••••••••• A••••••••• I•• L••pooled vehicle sponsorn
- A••••••• S••••••••• A••••••••• V•• L••pooled vehicle sponsorn
- A••••••• S••••••••• A••••••••• V••• L••pooled vehicle sponsorn
- A••••••• S••••••••• A••••••••• V•••• L••pooled vehicle sponsorn
- A•••••• C•••••• L••investment adviseryRAUM $1.1B
- A•••••• M••••••••• L••investment adviseryRAUM $252M
- A• B•••• G•••• L•investment advisernRAUM $6.0B
Advisers that list A••••••• S••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Shanghai, China14 employees
What changed
consecutive filings, newest first
- Accounts · 1,890,516,734 to 23Mar 31, 2026 to May 14, 2026
- Accounts · 19 to 1,890,516,734Feb 3, 2026 to Mar 31, 2026
- Advisory employees · 94 to 90Feb 3, 2026 to Mar 31, 2026
- Pooled vehicle clients · 19 to 23Feb 3, 2026 to Mar 31, 2026
- Assets in custody · $20B to $19BFeb 3, 2026 to Mar 31, 2026
- Employees · 159 to 150Feb 3, 2026 to Mar 31, 2026
- Private funds · 18 to 22Feb 3, 2026 to Mar 31, 2026
- Discretionary RAUM · $20B to $19BFeb 3, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $20B to $19BFeb 3, 2026 to Mar 31, 2026
- RAUM · $20B to $19BFeb 3, 2026 to Mar 31, 2026
- Accounts · 18 to 19Mar 3, 2025 to Mar 31, 2025
- Advisory employees · 109 to 94Mar 3, 2025 to Mar 31, 2025
- Pooled vehicle clients · 18 to 19Mar 3, 2025 to Mar 31, 2025
- Assets in custody · $19B to $20BMar 3, 2025 to Mar 31, 2025
- Employees · 177 to 159Mar 3, 2025 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $21B to $20BMar 3, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $21B to $20BMar 3, 2025 to Mar 31, 2025
- RAUM · $21B to $20BMar 3, 2025 to Mar 31, 2025
- Accounts · 25 to 18Jul 25, 2023 to Mar 29, 2024
- Advisory employees · 108 to 109Jul 25, 2023 to Mar 29, 2024
- Pooled vehicle clients · 25 to 18Jul 25, 2023 to Mar 29, 2024
- Assets in custody · $22B to $19BJul 25, 2023 to Mar 29, 2024
- Employees · 160 to 177Jul 25, 2023 to Mar 29, 2024
- Private funds · 25 to 18Jul 25, 2023 to Mar 29, 2024
- Discretionary RAUM · $22B to $21BJul 25, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $22B to $21BJul 25, 2023 to Mar 29, 2024
- RAUM · $22B to $21BJul 25, 2023 to Mar 29, 2024
- Accounts · 20 to 25Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 98 to 108Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 20 to 25Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $21B to $22BMar 31, 2022 to Mar 31, 2023
- Employees · 156 to 160Mar 31, 2022 to Mar 31, 2023
- Private funds · 20 to 25Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $21B to $22BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $21B to $22BMar 31, 2022 to Mar 31, 2023
- RAUM · $21B to $22BMar 31, 2022 to Mar 31, 2023
- Accounts · 26 to 20Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 78 to 98Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 26 to 20Mar 30, 2021 to Mar 31, 2022
Signals
2 dated events
- A••••••• S••••••••• L•• reported RAUM $21.2B, up 29% from $16.4B (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A••••••• S••••••••• L•• reported RAUM $17.0B, up 27% from $13.4B (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••••• S••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••••• S••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212 476-8000reportedpublic record, Form ADV, May 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026